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Name Category Published
In re Broderbund/Learning Co. Securities Litigation
Plaintiffs did not suffer any damages from $15 gain per share and action was properly dismissed. 		Securities Sep. 17, 2002
Ahammed v. Securities Investor Protection Corp. (Primeline Securities Corp.)
Claimants who sought to invest in debentures with fraudulent agent are entitled to protection under Securities Investor Protection Act. 		Securities Sep. 17, 2002
DSAM Global Value Fund v. Altris Software Inc.
Allegations of poor auditing were insufficient to meet pleading requirements of Private Securities Litigation Reform Act. 		Securities Jul. 12, 2002
Securities and Exchange Commission v. Zandford
Broker who is criminally liable for misappropriating funds from client's investment account is also civilly liable under securities law. 		Securities Jun. 12, 2002
Patenaude v. The Equitable Life Assurance Society of the United States
Tax-deferred variable annuities are covered securities under Securities Litigation Uniform Standards Act. 		Securities May 20, 2002
Brody v. Transitional Hospitals Corp.
Plaintiffs failed to meet contemporaneous trading requirements necessary to have standing on insider trading claims. 		Securities Apr. 3, 2002
City of Philadelphia v. Fleming Companies
Plaintiffs did not show defendants knowingly and recklessly failed to disclose information of litigation in violation of securities act. 		Securities Nov. 13, 2001
Smith v. Lenches
Voluntary dismissal of federal securities claims did not result in legal prejudice to party that also defended claims in state court. 		Securities Nov. 12, 2001
SEC v. Dain Rauscher Inc.
Reasonable prudence is standard of care for underwriter of municipal offerings and industry standard is not determinative factor. 		Securities Aug. 24, 2001
Ronconi v. Larkin
Court affirms dismissal of securities fraud case because allegations didn't meet heightened pleading requirements of Private Securities Litigation Reform Act. 		Securities Aug. 23, 2001
The Alberta Securities Commission v. Ryckman
Arizona resident convicted of fraudulent securities practices in Canada was required to pay costs of judgment issued as final in Canada. 		Securities Aug. 8, 2001
Krull v. Securities and Exchange Commission
Sanctions against securities dealer are affirmed because substantial evidence supports SEC's findings that he made unsuitable investment recommendations. 		Securities Jul. 18, 2001
The Wharf (Holdings) Ltd. v. United International Holdings Inc.
Agreement to sell stock options where seller never intended to allow buyer to exercise option was fraud and violated Securities Act. 		Securities May 28, 2001
In re Advanced Tissue Sciences Securities Litigation
The most adequate plaintiff in a class action suit pursuant to the Private Securities Litigation Reform Act, is the one with the largest financial interest. 		Securities May 24, 2001
Feigin v. Alexa Group
Investors cannot intervene in civil enforcement action brought by Colorado Security Commissioner when their ability to protect own interests is not impaired. 		Securities May 7, 2001
Siporin v. Carrington
Purchaser entitled to rescind investments qualifying as securites under Arizona Securites Act when they are not registered as required. 		Securities May 1, 2001
Koch v. Koch Industries Inc.
Materiality requirement of securities fraud claim is assessed under subjective, not objective, standard pursuant to Texas law. 		Securities Apr. 19, 2001
Sheldon v. Vermonty
Order 		Securities Nov. 12, 2000
Dunleavy v. Nadler
In class action, proposed settlement filed before Private Securities Litigation Reform Act's effective date may be reviewed under methodology mandated by statute. 		Securities Aug. 5, 2000
Securities and Exchange Commission v. Carnicle
Order 		Securities Jun. 29, 2000
S.E.C. v. Cochran
Evidence creates genuine issue of material fact about whether bond underwriter's employee has fiduciary relationship with a government agency. 		Securities Jun. 21, 2000
Koch v. SEC
Injunction against dealing penny stock can't be based on petitioner's alleged misconduct committed before enactment of penny stock act. 		Securities Jun. 19, 2000
Binder v. Gillespie
Presumption of reliance isn't available regarding alleged misrepresentations when security isn't traded in 'efficient market.' 		Securities Jun. 19, 2000
Binder v. Gillespie
Presumption of reliance isn't available regarding alleged misrepresentations when security isn't traded in 'efficient market.' 		Securities Jun. 19, 2000
Yoshikawa v. SEC
Substantial evidence is required to find that securities dealer engaged in sham transactions, known as 'parking,' to conceal true ownership. 		Securities Jun. 19, 2000
SEC v. Nite
SEC isn't entitled to summary judgment in fraud action, where pro se defendant had insufficient notice of requirements for opposing summary judgment. 		Securities Jun. 2, 2000
Dunleavy v. Nadler
In class action, proposed settlement filed before Private Securities Litigation Reform Act's effective date may be reviewed under methodology mandated by statute. 		Securities May 24, 2000
Commodity Futures Trading Commission v. Topworth International Ltd.
Commodity Futures Trading Commission can regulate trades involving both foreign currency and precious metals. 		Securities May 5, 2000
In re California Micro Devices Securities Litigation
Settlement proposal which offers more up front cash to class than previous proposal is approved. 		Securities Feb. 8, 2000
Powers v. Eichen
Motion to dismiss suit alleging misleading statements artificially inflating stock prices is granted in part. 		Securities Feb. 8, 2000
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